Investment Consultancy

Our Advocates are able to provide clients with tools to enable them to comply with statutory compliance requirements set by the Government.

Our services are comprehensive. In addition to the registration process, our lawyers provide investment adviser clients with a wide variety of services including:

Advising on the creation of new products and services
Drafting and reviewing advisory contracts, customer disclosure statements, and consulting and solicitation agreements
Developing and implementing compliance programs and regulatory controls

Reviewing advertising and marketing materials
Counseling clients on regulatory and business developments
Representing clients in mergers and acquisitions of investment advisers, including assisting with due diligence
Responding to regulatory inquiries and assisting clients in preparing for and responding to regulatory examinations
Representing clients in civil and criminal enforcement matters
Structuring referral arrangements

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We are a law firm assembled around people with all their multiplicity with a balance between legal excellence and a down-to-earth practical approach to our clients’ needs.